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FINRA Awards for Mitchell B. Goldberg

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Case Number Award Date Case Summary Customer Case? Amount Granted
10-0232512/14/2011Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Frank Bodi
Respondent Lawyers(s): Harry O. Channon
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
06-0305203/02/2009Claimant(s): Lawrence Adelman
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): James A. Laurenson, Mitchell B. Goldberg, Blanca E. Ortiz
Hearing Site: Cleveland, OH

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